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Chapter 2: Ethics and Research Ethics and Research 2 hapter 2 is a discussion and review of ethical issues in conducting and using research. CAn important question is this: Why study ethics and research? First, it is import- ant that the researcher is aware of how ethical his or her procedures are in conducting research. There are federal laws that protect human subjects against potentially harmful research practices (Office for Human Research Protections [OHRP] of the U.S. Depart- ment of Health and Human Services). The specific regulations may be founddistribute in the U.S. federal code of regulation, 45 CFR 46 and the Common Rule: 45 CFR 46 subpart A. There is a relatively short history of human research protection starting in 1974, the National Research Act (Pub L. 93-348). The Belmont Report was published to clarify and summarize the act. Due to several high-profile research studiesor that resulted in harm to participants, Congress passed the act. Several of these research studies are discussed later in this chapter. While protecting subjects and adhering to federal laws are most relevant for researchers conducting research, I will not go into great detail here because the focus of this book is designed to prepare you to be a thoughtful consumer of research. What dif- ference does it make to consider ethical issues in the articles you read in the professional literature? The answers to these questions post,are the foci of this chapter. The purpose of this chapter is threefold: first, to introduce you to ethical guidelines helpful in understanding ethics and research; second, to discuss examples of ethical research violations; and third, more important for you as a practitioner, to provide a method of evaluating the ethics of a research design as ethics apply to your use in actual practice of the information from the research. Therefore, this chapter includes (a) discus- sion of basic principles that may be used to consider and understand ethics and research, (b) a foundation andcopy, set of criteria for evaluating research reported in the literature, with a particular focus on the ethics of the research design as the results apply to using the information in actual practice, and (c) a discussion of examples from the current literature, which will illustrate how to use the criteria presented earlier in evaluating research for violations and problems from an ethical perspective for the practitioner in counselingnot and education. ETHICAL PRINCIPLES AND GUIDELINES DoWhen one considers ethical issues in research, it is helpful to conceptualize the guidelines available in the form of an inverted triangle (see Figure 2.1). At the top of the inverted triangle are general theories of ethics, and you may think of the space in this segment 23 Copyright ©2020 by SAGE Publications, Inc. This work may not be reproduced or distributed in any form or by any means without express written permission of the publisher. FIGURE 2.1 Ethical Guidelines for Research Utilitarianism Ethical Theories Deontological Autonomy, Beneficence, Justice, Ethical Principles Nonmaleficence, and Fidelity Professional Codes of Ethics ACA Code APA Code Human distribute Laws: State and Federal Subjects Guidelines or of the triangle as representing the number of situations that can be addressed with the theories. Also, the space may represent the amount of ambiguity in decision-making because there is not the specific claritypost, that some of the other guides listed in the triangle provide. Next are general principles such as autonomy, nonmaleficence, and so on. These general principles allow for a somewhat clearer interpretation than the general theories but do not allow the same number of situations to be addressed. The third type of guide is the professional ethical code, such as that of the American Psychological Association (APA) or the American Counseling Association (ACA). (I did not include the National Education Association [NEA] codes because they do not address research.) As we move down the trianglecopy, with the codes of ethics, there is an increased clarity in how and when to use the guidelines and a decrease in the number of situations to which they can be applied. Finally, at the bottom of the triangle, are laws and federal or state statutes and regulations. These are the most specific and clear-cut guides for ethical decision-making, but they apply to (generally) the fewest situations and circumstances. notStarting at the top of the triangle, you can see that two major types of theories have been proposed in ethical decision-making: utilitarian ethics and a deontological view (Beauchamp & Childress, 2012). There are several other ethical theories that could be included in ethical decision-making (Houser & Thoma, 2012; Houser, Wilczenski, & Do Ham, 2006). However, this book is not solely focused on ethics, so I will cover these two broad theories (utilitarian and deontological). Federal regulations (OHRP) as well as 24 SECTION I INTRODUCTION TO THE RESEARCH PROCESS Copyright ©2020 by SAGE Publications, Inc. This work may not be reproduced or distributed in any form or by any means without express written permission of the publisher. state and federal laws generally use these two ethical theories in developing their guide- lines or laws. Beauchamp and Childress (2012) defined utilitarian theory in terms of the end justifying or legitimizing the means and the promotion of the greatest good for the greatest number of people. Ethical decision-making can be applied to a great number of situations, but how to proceed is not that clear. Beauchamp and Childress defined the deontological approach in terms of decisions about right and wrong. There are rules or principles of right and wrong. For example, one rule within this theory is the Golden Rule (treat others as you would like to be treated) that guides actions (Beauchamp & Childress, 2012). In this theory, the outcome is less important than following the rule or principle. The next level of ethical guidelines is that of general principles, which are founded on virtue ethics (found within the deontological perspective). The general principles include autonomy, beneficence, nonmaleficence, justice, and fidelity (Beauchamp & Childress, 2012). According to Beauchamp and Childress, autonomy involves the concept of self- rule and self-choice. Self-choice includes full disclosure of information, which makes it possible to make an informed choice. Beneficence refers to doing what is best for another or looking out for another, whereas nonmaleficence is complementarydistribute to benef- icence and concerns doing no intentional harm. Justice involves the fair distribution of resources. Finally, fidelity refers to keeping one’s promise or commitment (Beauchamp & Childress, 2012). The next level of ethical guidelines is that ofor professional codes of ethics (ACA, 2014; APA, 2010). The ethical codes for the ACA address the follow- ing areas, under research: (a) research responsibilities of the counselor (Standard G.1), (b) rights of research participants (Standard G.2), (c) managing and maintaining bound- aries (Standard G.3), (d) reporting results (Standard G.4), and (e) publications and presentations (Standard G. 5). An example of rights of participants (Standard G.2) is as follows: The researcher needs to obtain informed consent for research pur- poses, and counselors must use language post,that is clear and understandable to partic- ipants. There are exceptions, when deception is required in a study, but deception is used only when no other methods are available. The APA (2003) Ethics Code Sec- tion 8 addresses (a) institutional approval (Standard 8.01), (b) informed consent for research (Standard 8.02), (c) Informed consent for recording voices and images in research (Standard 8.03), (d) client/patient, student, and subordinate research partic- ipants (Standard 8.04), (e) dispensing with informed consent for research (Standard 8.05), (f) offering inducementscopy, for research participation (Standard 8.06), (g) deception in research (Standard 8.07), (h) debriefing (Standard 8.08), (i) humane care and use of animals in research (Standard 8.09), (j) reporting research results (Standard 8.10), and (k) plagiarism (Standard 8.11). These topics in both the ACA and APA codes of ethics provide resources for practitioners who conduct or use research studies. You can review the relevantnot codes as necessary. Finally, there are ethical guides that address specific procedures for the protection of human subjects (OHRP). Federal legislation (OHRP) requires that investigators who are associated with institutions that receive federal funds must submit their studies to an Doextensive review by peers before the studies can be conducted. The primary focus is on ensuring that adequate protections for research subjects are in place. The peer review is CHAPTER 2 ETHICS AND RESEARCH 25 Copyright ©2020 by SAGE Publications, Inc. This work may not be reproduced or distributed in any form or by any means without express written permission of the publisher. done through a formally established institutional body, the Human Subjects Institutional Review Board (IRB). Guidelines for reviewing research proposals include requirements for informed consent, an evaluation of risks and benefits, and confidentiality. The IRB must evaluate the risks as being reasonable in relation to anticipated benefits. Professional Association Standards for Research (American Counseling Association and National Education Association) The 2014 ACA Code of Ethics includes a specific
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